on the topic, “A New Age of Fundraising,” emphasizing the role of SEC in creating opportunities for businesses of all sizes to access sources of fund, while the disclosure-based supervision will not
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
closed-end fund and open-end fund; “Registered person” means any person who is registered as a qualified fund supervisor; “Association” means any association relating to securities business, which has been
fund; “Registered person” means any person who is registered as a qualified fund supervisor; “Association” means any association relating to securities business, which has been approved by and registered
units responsible for the internal audit. - Review the risk assessment and risk management systems to oversee that they are appropriate, adequate and efficient. - Review business operating procedures to
net tangible assets, which is more than 0.03%, but less than 3% of the net tangible assets of the Company, it is considered a medium-size connected transaction and the type of normal business
transaction and the type of normal business transaction without general trading conditions. Therefore, the transaction must be approved by The Board of Directors of the Company and to disclose the information
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
total voting rights of the business pursuant to the notification of the Capital Market Supervision Board re: Rules, Conditions and Procedures on Acquisition of Securities for Business Takeover, such